Enforcement Actions

The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. The CFTC takes enforcement actions against individuals and firms registered with the Commission, those who are engaged in commodity futures and option trading on designated domestic exchanges, and those who improperly market futures and options contracts.

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Date ENFORCEMENT ACTIONS
Statement of CFTC Division of Enforcement Director Ian McGinley on the Ooki DAO Litigation Victory
Federal Court Orders Washington Rancher to Pay $1 Million Penalty for Phantom Cattle Scheme, Position Limit Violations
CFTC Orders a California Commodity Trading Advisor to Pay More Than $4 Million for Fraud and Registration Violations
CFTC Charges Five Defendants with Fraudulent Digital Assets Trading Scheme
The CFTC and State Regulators in California and Hawaii Charge Los Angeles Area Precious Metals Dealer in Ongoing $61 Million Fraud Targeting the Elderly
CFTC Orders HSBC Bank USA, N.A. to Pay a $45 Million Penalty for Manipulative and Deceptive Trading in Connection with Swaps Related to Bond Issuances, Spoofing, and Supervision and Mobile Device Recordkeeping Failures
CFTC Orders HSBC to Pay a $30 Million Penalty for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
CFTC Charges Commodity Pool Operator Tyche Asset Management LLC and its Controlling Principal in a $6 Million Commodity Pool Ponzi Scheme
CFTC Orders The Bank of Nova Scotia to Pay a $15 Million Penalty for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods
Federal Court Orders Former Head of International Binary Options Scheme to Pay More than $561,000 in Restitution